Written by The White Law Group• September 5, 2019• 7:26 pm• Current Investigations

Gerald Lee Brodsky Broker Investigation

Gerald Lee Brodsky, Dinosaur Financial Group – New York, NY

Are you concerned about your investments with Gerald Lee Brodsky in New York, NY? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.

According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Brodsky from associating with any FINRA member at any time after he allegedly failed to provide information in its investigation.

FINRA was reportedly investigating Brodsky in connection to allegations that he was engaged in outside business activities.

According to disclosures on his FINRA BrokerCheck record, Brodsky was reportedly a registered representative with Dinosaur Financial Group from December 2014 until October 2016. According to his broker report he has disclosed the following as other business activities: The Concorde Group, Inc., Concorde Group Holdings, and DBL Holdings LLC, and Concorde Europe Limited.

Securities Fraud Lawsuits

The White Law Group is investigating potential lawsuits regarding the liability that his former employers may have for failure to properly supervise Brodsky.

When brokers violate securities laws, such as participating in private securities transactions or engaging in outside business activities, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration.

Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.

The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee.

We represent investors in FINRA arbitration claims in all 50 states, including New York. Our attorneys have recovered millions of dollars from many brokerage firms in the past.